Financial Industry Contracts

The securities and financial industry requires contracts be negotiated, agreements drafted and records maintained, both for a business and regulatory function. As a result of The LeGaye Law Firm, P.C.’s extensive legal experience in broker/dealer issues, the firm brings a unique mix of industry and regulatory experience, which assists our clients avoid problems and efficiently implement and manage corporate agreements, contracts and other necessary forms of documentation.

Legal services offered include advice related to the negotiation and drafting of contracts or agreements and review of proposed or existing contracts, agreements and other documents to ensure legal compliance with current regulatory requirements. The following is a representative summary of some of the contracts and other legal documents The LeGaye Law Firm, P.C., can negotiate, draft, evaluate or revise:

  • Broker-Dealer Client Contracts
  • Broker-Dealer Selling Agreements
  • Broker-Dealer Independent Contractor Agreements
  • Broker-Dealer Employee Agreements
  • Finder’s Agreements
  • Third-Party Service Provider Contracts
  • Qualified Investor Subscription Agreements
  • Limited Liability Agreements
  • Operating Agreements
  • Confidentiality Agreements